Our Staff has compiled our research into a database of FINRA Broker Disclosures for Raymond James & Associates, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Richard Gordon Greenwald | 1587967 | 2 | 05/09/2001 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Malcolm C Tarver | 442748 | 6 | 05/04/2001 | Customer Dispute | Closed-No Action | $150,000.00 | $0.00 | See FINRA Report |
| Simon Robert Hamilton | 2148810 | 3 | 05/01/2001 | Customer Dispute | Settled | $1,114,230.00 | $0.00 | See FINRA Report |
| Dean Douglas Dancer | 3112880 | 2 | 04/26/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Alan Corona | 2366356 | 8 | 04/18/2001 | Customer Dispute | Settled | $456,982.00 | $0.00 | See FINRA Report |
| Christopher John Mahoney | 1131884 | 1 | 04/16/2001 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| James J Dowd | 1155775 | 6 | 04/05/2001 | Customer Dispute | Closed-No Action | $23,523.40 | $0.00 | See FINRA Report |
| Robert Alan Corona | 2366356 | 8 | 04/05/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Eric Quigley | 2527490 | 1 | 04/05/2001 | Customer Dispute | Denied | $19,945.00 | $0.00 | See FINRA Report |
| Gerald Daniel Saelzer | 2391367 | 1 | 04/03/2001 | Customer Dispute | Settled | $39,000.00 | $0.00 | See FINRA Report |